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P•••••••• A•••• M••••••••• L••

STATE REGISTEREDFormer SEC adviser· Boca Raton, Floridawebsite

STATE REGISTERED, based in Boca Raton, Florida, reporting $71.0M of regulatory assets.

Composed from this adviser's Form ADV classification, location and filed figures.

As of 2026-05-18 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Last reported RAUM: $71.0M
Advisors: Not applicable
Net advisor flow, 12 months: Not applicable
RAUM change, last fiscal year: Not applicable
Private clients: 93% of RAUM, $65.9M

Advisors Advisor movement Where the RAUM sits

As of 2026-05-18 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Why this matters

2 published business contact points are on record, each with its source.
Contact points 2

Every filed figure, and the identifiersCRD 148087 · 1 filingsShow

CRD 148087First filing on the tape May 18, 2026, latest May 18, 2026IAPD

RAUM

$71.0M

reported, Item 5.F

Discretionary

95%

of RAUM

Private clients

93%

$65.9M individuals and HNW

Advisors

n/a

registered through the firm on IAPD

RAUM per advisor

n/a

derived; firm RAUM over IAPD count

Employees

2 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

0 filings and snapshots on the tape

RAUM: no history

HNW client RAUM: no history

State-registered IARs (5.B.3): no history

Employees (5.A): no history

Private funds: no history

Practice profile

derived from the filing of May 18, 2026; every figure names its basis

RAUM per advisor: $35.5MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client: $1.7MderivedHNW RAUM over HNW clients
Average account: $696,196derivedRAUM over accounts (5.F.2.f)
Discretionary: 95%derivedof RAUM
Institutional: unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 1.0derivedItem 5.A over advisors
Advisors per office: 1.0derived2 offices incl. principal (1.F.5)
RAUM growth, one year: unknownderivedbetween the last two annual amendments
Advisor growth, one year: unknownderivedItem 5.B.3 between annual amendments
Client growth, one year: unknownderived
Compensation: percentage of assetsreportedItem 5.E
Advisory activities: portfolio management for individualsreportedItem 5.G
Custody: $71.0M, 42 clientsreportedItem 9.A
Ownership: no PE, bank or public-company owner found on Schedule Aderived
Advisor book size: not public; not estimatedreported

Also answered yes on Form ADV

buys or sells securities as principal to or from clients (8.A.2)
has discretionary authority over which securities are bought or sold (8.C.1)
has custody of client cash or bank accounts (9.A.1.a)
has custody of client securities (9.A.1.b)

Where the RAUM sits

Form ADV Item 5.D, latest filing

High-net-worth individuals$65.9M93%
Charitable organizations$5.1M7.2%

Individual clients: n/areported
HNW clients: 39reported
Pension plan clients: n/areported
Charitable clients: 3reported
Accounts: 102reported
Financial planning clients: n/areported
Wrap fee programs: noreported
Custody of client assets: $71.0M for 42 clientsreported
Compensation: % of AUMreported
Class basis: on the IAPD state feed, not SEC-registeredderived

Advisors registered through the firm

2 on IAPD today, longest tenure first

Name	Branch	Here since	In industry	Prior firms
R•• F•••••Chartered Financial Analyst	Boca Raton, Fl	Oct 23, 2024	25 y	1
A••• D•••• F•••••Chartered Financial Analyst	Boca Raton, Fl	Sep 12, 2025	25 y	1

Advisor movement

Left, latest

none on the tape

Joined, latest

A••• D•••• F••••• from P•••••••• I••••••••• M••••••••• L••
Sep 12, 2025 · Other
R•• F••••• from P•••••••• I••••••••• M••••••••• L••
Oct 23, 2024 · Other

Every departure Every arrival

Teams: two or more advisors moving together within fourteen days, from one state

2 joined from P•••••••• I••••••••• M••••••••• L••
Nov 20, 2025 · Boca Raton, Fl

Teams out Teams in

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

No Schedule A on the extract for this adviser.

Related persons

Schedule D 7.A

No related person reported.

Office movement

IAPD branch city; joins and departures in 12 months

Office	Advisors	Joined	Left	Teams out	Forming
Boca Raton, Fl · principal	2	0	0

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

One filing, no change to show.

Signals

1 dated events

••• Locked
Nov 20, 2025 · Team lift-out · derived

Across DFX

shared identifiers only, never a name match

No identifier-backed link to the venture, private equity, family office or sponsor graphs.

How to reach

public business contact points only, each with its source

Website: ••• Lockedreportedpublic record, Form ADV, May 18, 2026
Principal office phone: ••• Lockedreportedpublic record, Form ADV, May 18, 2026

Provenance

Form ADV: SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
Advisors: IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
Class: STATE REGISTEREDderiveda rule over Items 5.D and 7.A
RAUM per advisor: n/aderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 15, 2026